Rule: 69W-600.0017 Prev Up Next
| Rule Title: Notice-Filing for Federal Covered Advisers | |||
| Department: | DEPARTMENT OF FINANCIAL SERVICES |
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| Division: | Securities | ||
| Chapter: | REGISTRATION OF DEALERS, INVESTMENT ADVISERS, ASSOCIATED PERSONS | ||
Latest version of the final adopted rule presented in Florida Administrative Code (FAC):
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Effective Date: | 3/21/2024 |
| History Notes: | Rulemaking Authority 517.03(1), 517.1201 FS. Law Implemented 517.1201 FS. History–New 12-29-15, Amended 11-26-19, 1-18-21, 3-21-24. | |
| References in this version: |
Ref-11281 Form ADV-W, Notice of Withdrawal from Registration as an Investment Adviser (07/17) Ref-12555 Form U4 Instructions-Explanation of Terms-Form.pdf Ref-12563 Form U5 Instructions-Explanation of Terms-Form Ref-16504 FORM ADV, Uniform Application for Investment Adviser Registration (8-22) |
| Notice / Adopted |
Description | ID | Publish Date |
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|---|---|---|---|---|
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Notice-Filing for Federal Covered Advisers | 23842326 |
11/4/2020 Vol. 46/216 |
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Application for Registration as a Dealer (FINRA), Application for Registration as a Dealer (Non-FINRA), Application for Registration as an Issuer/Dealer, Canadian Dealer Notice-Filing, Application for .... | 23841356 |
11/4/2020 Vol. 46/216 |
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